The Dispute Advisory Group (DAG) Attorney serves to provide advice and counsel to various lines of business regarding the handling of investment-related pre-litigation disputes. The DAG attorney is responsible for the oversight and objective review and investigation of investment-related sales practice investigations, and is responsible for independently managing a caseload of active matters that typically involve complex and variable issues. A subject matter expert with extensive industry experience, the DAG Attorney has the authority and expectation to independently investigate complex legal issues with significant potential impact to the business, advise the business regarding the recommended resolution of such issues, and responsibility to facilitate the ultimate resolution of the matters. In addition, the DAG Attorney is responsible for responding to regulators and regulatory inquiries associated with customer complaints and sales practice matters, and assists with the preparation of attendant regulatory filings. The position provides the legal analysis for the business as to the potential exposure to the client from both a civil and from a regulatory perspective, and recommends the course of action. Because the DAG Attorney serves as a strategic legal partner and interfaces with business risk and management across various lines of business, including senior management as appropriate, well-developed and nuanced communication skills are required.
JD from an accredited law school and a current state Bar admission
At least five years of securities/investments-related litigation experience preferred
Working knowledge of the relevant regulatory obligations regarding complaint-handling, investment sales practices, complaint and other regulatory reporting and the securities industry generally
Qualified candidates must have:
demonstrated attention to detail
ability to analyze issues and develop recommendations
Proven ability to communicate effectively, possess strong negotiating and drafting skills and work effectively under pressure
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